About This Job

Location

Level

Our Policy & Quality Assurance team is seeking a professional who is looking to work with a wide variety of individuals from Compliance, Technology, & Client On-boarding Operations to implement policy change and mitigate risks associated with completion of the Know Your Client requirements during the on-boarding of new clients.

OUR IMPACT

Operations is a dynamic, multi-faceted division that partners with all areas of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. In addition, Operations provides essential risk management and control to preserve and enhance the firm’s assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.

Operations Data Quality Management (ODQM) supports the Securities, Investment Management and Investment Banking Divisions of the firm. This group manages key relationships for the bank and infrastructure providers, on-boarding of institutional and prime brokerage clients, and assists in the coordination of issuance of new financial products.

As a member of The Policy & Quality Assurance team within Client On-boarding the individual will manage the control framework and oversight of a broad spectrum of firm policies that impact Institutional on-boarding teams. The primary focus is on Know-Your-Client, Customer Due Diligence and Enhanced Due Diligence workflows. The role is part of a global team responsible for overseeing aspects of policy implementation, quality assurance and audit facilitation for the COB division.

HOW YOU WILL FULFILL YOUR POTENTIAL

Assist in developing and integrating quality control framework for new and existing processes